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México 15, Mexico City, Méx., Mexico
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Requirements 3.1 Rationale and Scope
The service will be provided in accordance with the applicable regulations (CNBV, Banxico and Indeval), covering:
* Custody of national and international securities (via SIC).
* DVP/FP settlement.
* Corporate Event Management and Rights.
* Information and statements.
* Reconciliations and exception handling.3.2 Compliance Requirements
* Compliance with the Single Circular of Brokerage Firms and historical guidelines of custody on behalf of third parties.
* Observance of the Indeval Operating Manual for deposit, custody, administration and corporate events.
* Alignment with Banxico's provisions and circulars related to settlement, DVP and related operations (repos/loan). 3.3 Operational Requirements
* Segregated accounts by customer; prohibition of mixing of assets.
* Daily reconciliations (operational/accounting), logs and end-to-end traceability.
* Exception management with resolution times and metrics (KPIs).
* Management of corporate events and considering tax issues (withholdings/QI when applicable). SG: 3.5 Technology Requirements
* Native integration with Indeval directly or through a provider (messaging, reconciliations, events).
* APIs/SWIFT/Protocol 15022 for cash/events; Consolidated reports by client.
* Security (access, encryption, tamper-proof logs) and monitoring with KPIs.3.6 Evidence Requested from the Supplier
* Access to the escrow platform SG: we´re good when it comes to integrations, but I don´t know what this comprehends
* Contracts and custody flows. SG: depends on what they mean; we do have the trade flow. Contracts could be generated via LTC but not maintained. Perhaps good enough? tbd
* Online monitoring of both trading, flows and positions.
* Reconciliation reports and KPIs.
* Manuals and operational documentation
Bachelor's degree
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